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Business Process Documentation_Award Processing_ 06.09.2015 formatted 1

BUSINESS PROCESS DOCUMENTATION STANDARD BUSINESS PROCESSES

ABBREVIATIONS USED

L Logging

P Processing

R Review

AT Award Tracking record

CGA Contract or Grants Officer

FM FileMaker

FT Financial Tracking record

PA Proposal Analyst

PI Principal Investigator

PT Proposal Tracking record

RASP Routing AS Proposal

WILDCARD *, an asterisk

CONVENTIONS

The business processes in this document are used with PT, FT, and AT.

We work from the Sidebar, or the menu on the left side of the screen that has folders, e.g., PT Submissions, FT Personnel, AT Related Proposals:

the Sidebar of the InfoEd database screen is much like using a hyperlinked Table of Contents the active folder is in Bold -- clicking on a folder will make it active, and bring up the screen which holds

that related information some information (fields) is shared between folders/screens [called “award level” info] folders are different colors, depending on which type of record you are in, i.e., PT = yellow, FT = grey, AT

= blue

The award header at the top of the window remains stationary, regardless of which award increment is opened or where you click in the award window. The header contains information about the master proposal that is applied to the entire record, specifically:

Title, Principal Investigator - PI’s Primary Department Org - Primary Department Name – Sponsor, for example:


Bolded words or terms direct users to click on a particular folder, item or link. For example, “Click on My Proposals” [to open the My Proposals screen for creating or searching for a proposal record].

Navigating to a particular screen often involves several separate clicks. Navigation instructions are abbreviated, for example: My Proposals > Search for > choose a field.

The latter would be read as: “Click on My Proposals to select it, then click on Search for to select it, and then choose any field to search by clicking/typing in it.”

TERMINOLOGY DEFINITIONS/ CHANGES [INFOED = FM]

Account = Project# = Top left hand side of most screens in PT in: FT > Summary level > Accounts

in: AT Related Accounts > Accounts in: AT Summary > Account Information

o Old Project#s – Search on main search screen = Previous Project Number o Converted records= PT Awards > Other Award Details, at the bottom of the page

Institution number = Proposal# -- in: upper right hand corner of most screens.

o New proposals created in InfoEd will automatically have the Institution number assigned. o Added/Changed in: PT Submissions > Summary

Speedtype = Speedtype

in: FT > Summary level > top of screen, in Award Information block in: FT Setups > Attributes > Purpose > search by “x (speedtype#)”

PT Submissions-Sponsor:

o Type = EPC (Expense Purpose Code) [in PT Submissions-Sponsor] o ID No. = RFP and/or Sponsor Program with which it is associated [PT Submissions-Sponsor]

PT Submissions-Budget:

o Top level folder = Amount requested from sponsor – [in PT Submissions-Budget] o Subfolders = Corrected dollar amounts based on the award – [in PT Submissions-Budget]

Dates: o Dates may be entered as six, eight, or 10 digits and will format to the Universal Date Format, e.g.

02-Oct-2009. Options for entering this date include the following:

100209 10022009 10/02/09


10/02/2009 10-02-09 10-02-2009

MASTER PROPOSALS

All proposals are connected to one award. Some of the data from the Master Proposal is used at the award level. Because data from InfoEd is integrated with PeopleSoft, changes to certain fields must be made in the Master Proposal:

o Title

o Associated Departments/ ICR Splits

o Sponsor/ Originating Sponsor

o CFDA

o Award No./ Originating Sponsor Award Number

o Award Type (Instr. Type)

o EPC (Program Type)

o Funding Source

o PIs or Co-PIs (see Changing PIs or Co-PIs for how to make this change)

The Master Proposal will usually be the first proposal under the Submissions Folder, but can be identified by clicking on the Submissions Folder itself (on the Left side navigation panel). Clicking on this folder opens a table displaying all Proposals with a radio button for Master:

o To change the master proposal, select the radio button for a different proposal, and the Master Record Migration Details screen will open. (See Master Record Control for more information).

The determination about whether a proposal is a child to an existing master proposal, or a separate master proposal is initially made by the Proposal Analyst.

o However, when an award comes in, if the sponsor has provided a different award #, then this is an indication that the sponsor intends for those funds to be accounted for separately. This is an issue that needs to be clarified with the sponsor.

o If the sponsor confirms that funds under the award must be accounted for separately, then there is a need for a separate master proposal. (See Master Proposal Record Control for instructions regarding how to make a child proposal into a master proposal or vice versa).

o If the sponsor does not require separate accounting, then the new award # should replace the existing award # in the master proposal.


o If there is a child proposal, the previous award # should be added to a child record for searchability. If not, it should be notated under award comments.

For NIH awards, the document # will be used as the award # (in discussion with SPA). A change in document # is an indication that a new master proposal is needed. (The Award # will be listed in a separate UDF field.)

RELATED PROPOSALS

Proposals should be related if there is specific connection between them that cannot be addressed by a parent child relationship.

o The most common link is between a non-monetary type of proposal such as a master proposal, or NDA and the proposal that is funded or applied to.

To access related proposals, navigate using the leftside menu in PT, and click on the Related Proposals folder.

The Related Proposal/Contracts/Agreements screen will open.

You can see the current related proposals listed. Click on the open icon to navigate to a related proposal, or click on the add button to add a new one:

After clicking on the Add proposal Button, a new screen will open up.

Select the proposal, number or Browse for a proposal. Click Go.

The proposals that meet the criteria will display at the bottom of the screen.

Click on the checkbox next to the desired proposal, and click the select button:


MASTER RECORD CONTROL

Locate the Proposal that should be a child proposal. (See SOP for logging for info on locating a proposal)

Click on the PT> Summary Folder and Click on the blue Master Record Control link on the top of the page:

Input the Master proposal that the currently selected proposal should become a child to, and then click on the save icon:

In the example above 0209.50.0348B would become a child proposal of 00.00.0000B.

To make a child proposal its own master record, click on the PT> Summary folder for the current child proposal.

The Master Record Migration Details screen will open, but now there is another link:

o Click on this link, and the current child proposal will become its own Master Proposal.

Note, this can only be done when the proposal is a child. To separate a master proposal from numerous children, you must first make one of the current children into the Master Proposal. (See the Master Proposal section for more information).


SELECTING CO-PIS

Co-PD/PIs; Co-Investigators will only be entered in PT, and all personnel listed in PT who are not already identified in FT

as PIs will be listed as Co-PIs on the project. However, there is a need to distinguish between key personnel that are

named as Co-PIs and an internal University Co-Investigator (usually someone named internally to manage a project).

The designation Co-PD/PI or Co-Investigator (if Co-PD/PI is not allowed by sponsor) will be used when the person

is considered key personnel by the sponsor, and or is named in the award document.

o In the Personnel folder, the user will first select the individual from the alpha list at the bottom.

o Then choose Key Personnel from the Personnel Type drop down list, and Co-PD/PI or Co-Investigator (if

sponsor does not accept Co-PD/PI) from the Role drop down list.

o For an internal University Investigator, the user will first select Non-Key Personnel from the Personnel

Type. For the Role, the designation of Co-Investigator will be used.


Non-Key Personnel are displayed lower down on the Personnel page:

CHANGING PIS/ OR CO-PIS

Under Personnel, there must be a designated PI. This is indicated by a radio button next to the named PI.

If the replacement PI is already named as Key Personnel, the user can select a different person. Doing so opens a window to select which budget periods to apply the change to. Choose change all, and save.

Click on the remove arrow, to remove the former PI from the list of key personnel.

If the replacement PI is not already named, click on the add Personnel and follow the steps for Selecting Personnel.


AWARD INCREMENTS:

Because workflow is tied to the award increment, all changes that require workflow will require the creation of an award increment. See the Logging SOP for instructions on how to create the award increment.

Award Increments can either be sponsor initiated or Internal. The user must select an award increment Type:

For Sponsor initiated award increments, the user will select one of the following award types:

1. Initial will be used for new awards. For a PT record there will only be one Initial designation.

2. Funding and Extension will be used when the award increment is increasing the authorized funded amount,

AND increasing the authorized period of performance.

3. Funding will be used when the award increment is increasing the authorized funded amount.

4. Extension will be used when the award increment is increasing the authorized period of performance.

5. POP Reduction will be used when the award increment is decreasing the authorized period of performance

6. Deobligation will be used when the award increment is decreasing the authorized funded amount.

7. Carryforward will be used when the sponsor is authorizing funding from one period to move into another.

8. Supplement will be used for awards that are being funded by a supplemental proposal. (See proposal

documentation for additional information).

9. Key Personnel Change will be used for award increments where the sponsor has approved a change in key

personnel i.e. change in PI/ Co-PD/PI.

10. Admin will be used for all administrative actions and any other sponsor initiated action not previously defined.

Examples are a change in contact personnel, change in reporting or a change in estimated funding.

When selecting an award increment type, it is possible that more than one type will apply. In this case, choose the ‘highest’ applicable option on the list. For example, an award increment may change the estimated funding amount, and change the authorized period of performance. In this case, the appropriate selection would be Extension. The exceptions would be Carry-forward, and Supplement.

For internal award actions (those that do not require sponsor approval), the user will select one of the following award types:

1. Internal: Correction will be used when there is a need to correct either award or project information in

PeopleSoft. This designation indicates that the wrong information was initially entered into the system. If the

sponsor has to issue an award modification, then the correct designation will be as described above.


2. Internal: Transfer will be used when there is a need to move funds from one project to another. This will be a

zero dollar action at the award level. If sponsor approval is required, then use the correct designation as

described above.

3. Internal: PI/ Co-I Change will be used when there is a change of either a PI or Co-Investigator that does not

require sponsor approval. (This is usually a person named by the department for administration of a project).

If sponsor approval is required, use the correct designation as described above. This will be a zero dollar

action.

4. Internal: Change Org Number will be used when there is a change to the department organization number. If

the change is made to the Main project, it should be made in PT as well. This will be a zero dollar action

5. Internal: Change Department will be used when there is a change to the department. If the change is made to

the Main project, it should be made in PT as well. This will be a zero dollar action.

6. Internal: Other will be used for all other actions not described elsewhere. This may be a zero dollar action.

Incremental Funding

When an award increment is incrementally funded, and there are multiple budget categories (e.g. Directs and Indirects), the budget should be proportionately created for each category. For example, if 20% of the budget is funded, then 20% of the IDC should be entered). It will be the person doing processing who will adjust the cost categories. The logger will enter the awarded amount under direct costs.

Modifications

The Award Number field within the detailed budget screen has been repurposed for the mod #. Unfortunately, we are not able to change the label on this screen:

The mod # is entered by using two digits e.g. 00 for the initial award. If the sponsor uses a different number, it will be added in parentheses.

For various sponsor awards, the contributor will be added in parentheses to this field as well.

The awarded date will be the date the award increment was received, and will be automatically added when the logger adds the increment.

Mod #/ Awarded Date display on the leftside menu to the right of the folder:


RUSH

If an award increment is a rush action, on the award increment budget details page, on the bottom of the screen (under Other Award Increment Details) select the Rush checkbox:

Add Rush to the comments of the Award Increment action item.


PT Award Increment Status

The PT Award Increment Status is used either during processing or review, when there is a need for a status update between the work-flow statuses.

To add a PT Award Increment Status, first click on the Awards folder on the leftside menu (sidebar menu). Under the Award Information, there is a status, with the most recent status selected displayed:

Click on the blue link to open the status history. You can confirm the desired status by the Date Awarded, which will match the AT Award Increment, and the current action item.

Clicking on the link opens up the status history page which displays the previous statuses, and is where new status information is added.

The drop-down list for new status, is split into two sections. The top section is used for workflow after project setup. The bottom section is where open and closed status selections are:

To select a status, choose the appropriate open status, for example if a budget revision is needed, select Budget Revision Needed Open.


More than one status can be added here, but on the most recent will display.

A status cannot be edited. To add an update, select the same open status again and add a comment.

When the issue is resolved, select the appropriate closed status. All statuses should be closed before moving the workflow forward.

ICR SPLITS:

ICR Splits are documented in the Master Proposal Record, under Associated Departments on the PT Summary Folder. To navigate, use the leftside menu, and select the Summary folder (on the master proposal):

Near the bottom of the screen is the Associated Departments table. Enter each department that will receive the split, and its percentage. When a proposal is created, the PI department and org will default to the primary department. To add additional departments, click on the Add button:

The ICR split orgs should be the same as those on the PSR form. The % allocated should always equal 100%. If there is no split, then the primary department should be listed at 100%:

If an ICR split is listed, then an approval type for ICR split needs to be listed under approvals, and the appropriate documentation should be added in attachments to document the split agreement between the relevant parties.

Generally, the ICR split will only be listed at the award level and will apply to all projects. However, when there is a need to document split at the project level that is different than the award level, use the ICR Split exceptions field.

First click on the blue link (under Other Summary Details) to add an exception:

Click, set to enter the department, and then enter the relevant Project Number and Percentage:


Enter one row for each department in the split agreement.

APPROVALS:

Approvals are generally expected to be identified at the time the proposal is created. When an approval is created, it should be given an appropriate status.

Pending means that the approval has been identified, but not yet approved.

Approved means that the approval has been reviewed, and obtained all relevant institutional or external permissions needed for the approval type.

o If an approval has a status of approved, it should have Approved From and Approved To dates, and it may have a Reference No. The Reference No. field is used for the approving organization’s dedicated number-- such as a protocol number.

Denied means that the approval was requested, but not granted. ICR Waivers are the most likely to have this approval status.

Reviewed—Approval Not Needed means that the approval has gone through review, and it was determined that no formal approval was needed.

An approval can only be added to a specific proposal; however all approvals are connected to the award. For navigation, under the submissions folder, in the leftside menu select the appropriate proposal folder, and click on the Approvals folder (located just under the attachments folder):

Note: there is a second approvals folder under the Financials folder. This is a comprehensive view of all approvals

connected to the award from all of the proposals. This folder can only be opened in ‘view’ mode, which means approvals

can be reviewed, but cannot be added or edited.

See the Award Review SOP for instructions on how to add and edit an approval.

If an approval has not been added during the proposal, and needs to be added at the award, it should be added to the master proposal.

For any approvals not identified at the time of proposal, a comment should be added to the comments field so that it is clear when the need for the approval was identified.


An award should not move forward to Project Setup if the approval status is still pending, except for when the required approval is not immediately needed to begin work, for example no animals will be used in year 1. In this situation, a comment should be added to the approval’s comment field.

For any approval, the appropriate documents should be added as an attachment. (See attachments for more information).

There should be an approval created for each approval process. A new approval process is started if the Reference No would change e.g. a different protocol number. If an existing approval is extended, the Approved To date should be edited, and a comment added similar ‘approval extended from 12/31/15 to 12/31/16’.

PROJECT PURPOSE:

The Project Purpose field in FT is used for identifying the reason that a separate project has been setup. This is similar to the

remarks field in FileMaker. To navigate to this field, use the leftside menu in FT. Click on the Setups Folder, and then click on

the folder for Attributes:

This field is also used for speedtype because it is searchable. The Project Setup Accountant will add the speedtype after it

has been created and a backward slash after the project purpose to separate them.

There is a need to standardize the project purpose.

All projects will have a parent account. For this account use:

o Main

When the purpose is a separate account for a Co-Investigator as requested by the department use:

o Co-PI: Last Name, First Name

When the purpose is a separate account for a subcontract, use

o Sub to: Sub Name, as defined by InfoEd. Restricted to character limit of x for long names.

When the purpose is a separate account for participant support costs, use:

o Participant Support

When the purpose is that the IDC rate has changed, use:

o IDC Rate Change

When the purpose in an interest bearing account, use:

o Interest, and check the interest-bearing box.

When the purpose is a sponsor restriction, such as carry-forward, add:


Restricted Yr. x to the other naming conventions,

o e.g. ‘Restricted Yr.1 Main.’

When the account is also used a cost-sharing account for another project, add:

o Cost Share to x project, to the other naming conventions,

o e.g. ‘Main- Cost Share to 1551121’.

When the account is a department request, for department specific purposes, use:

o Dept. Req. and x additional characters, for the department to define. e.g. ‘Dept. Req. Administrative Core’

FUNDING SOURCE

The Funding Source field is used when neither the sponsor type, nor the originating sponsor type appropriately describes the source of the funds received. This field should be used to describe the highest known level of the funding. To navigate, click on the PT> Sponsor folder:

The funding source should be identified appropriately at the time of proposal, and confirmed at award. The master proposal is the data that is loaded into the financial system; although there should not be a difference in funding source between master and child proposals. A change in funding source is a potential indication that a separate master proposal is needed.


AGREEMENT TYPES:

The Agreements folder is used for non-monetary agreements. To navigate click on the master proposal> Agreements folder:

(see the Non-monetary SOP for information about how to add or edit an agreement).

Within the Agreement, select the Agreement Type dropdown.

Choose Master if the Agreement is expected to be used to fund multiple awards. An industry master agreement or an IDIQ is an example of this.

Choose NDA if the purpose of the Agreement is to prevent the disclosure of certain information. A proprietary disclosure, or confidential disclosure agreement is an example of this.

Choose Inter-campus if the agreement is between OCG and another CU organization.

Choose Teaming Agreement if the purpose of the agreement is to establish a team for submitting a proposal.

Choose one of the other remaining specific agreement types when the type matches the purpose of the agreement:

o Allocation of Rights Agreement—used with an STTR to address intellectual property rights associated with the research.

o Bailment Agreement—used for exchange of property

o CRADA—Cooperative Research and Development Agreement. Generally used when CU is paying a national lab to perform work and a subcontract cannot be used.

o Facilities Use Agreement—used for documenting terms to use a lab or other facility.

o IPA—used as an assignment agreement under the Intergovernmental Personnel Act. Generally CU personnel hired for government purposes, but still paid through CU.

o License Agreement—used to document a license to use something for a specific purpose. Will frequently involve TTO.

o MTA— Material Transfer Agreement: used when the purpose of the agreement is to govern the transfer of tangible research materials such as biological materials, chemical compounds or possibly software. These are negotiated by TTO.

o Visiting Scientist Agreement: used when a researcher will be visiting CU to document rights and responsibilities of the parties.

If not covered by one of these options, then select the generic Non-Monetary.


INSTRUMENT TYPES

The Instrument type field is used to describe the funding vehicle used in the award. It is generally expected that this field

will be validated at time of award. This information is not always known at proposal, while the field may reflect the desired

funding vehicle at the time of proposal, it needs to be updated to reflect the actual received. To navigate to this field, go to

the master proposal and click on the Sponsor folder> and select the dropdown field for Instr. Type:

It doesn’t matter what the award is called; what matters is the obligations and expectations of the parties. (Note team

selection does not necessarily follow Instr. Type). Use the following guidelines to select Instr. Type:

Contract – Cost Reimbursable – A contract for which the sponsor reimburses the University for the allowable and allocable costs incurred in the conduct of the work up to an agreed-upon amount. Contracts are a mechanism for procurement of a product or service with specific obligations for both the sponsor and recipient. If an award does not fit into another category, it will most likely fit here.

Contract – Fixed Price – A contract for which one party pays the other party a predetermined price, regardless of actual costs, for services rendered, and which becomes due in full when deliverables are accepted. Contracts are a mechanism for procurement of a product or service with specific obligations for both the sponsor and recipient.

Cooperative Agreement – Funding to carry out a public purpose with substantial involvement of sponsor during performance of activity. A cooperative agreement is a type of Grant.

Fellowship--

Grant – Financial assistance agreement to carry out a public purpose. No acquisition of property or services, and no substantial involvement of sponsor during performance of activity. Grant will only be used for federal money. It must have a CDFA # in the award document.

Grant - Subagreement – Use for subaward from another institution where award from prime sponsor is a grant or cooperative agreement.


AWARD COMMENTS

Award Comments are used to add clarifying information about a modification, and also general information about the

overall award. This is the area where FM Remarks will be converted. For conversion, project/account specific notes are

identified by the project/account number. To navigate, go to PT> Awards> Other Award Details> Award Comments:

Clarifying comments should be identified by the format mod #: comment.

o A change in date should use the format change start date from ##/##/## to ##/##/##.

o An initial extension of the end date will be stated as: Extend from ##/##/## to ##/##/##. Any following extension will only need to state the new date as follows: Extend to ##/##/##.

Clarifying comments should only be added when the increment type/ award information does not provide enough information. For example, there is no need to add a comment about the amount of funds received by mod as this is already identifiable in the award information section, but an award increment type of key personnel change should have a comment stating who the key personnel replaced were.

Clarifying comments will be listed from most recent to oldest, with the most recent closest to the top of the field.

General award information should also be included in this field, and it will be listed above clarifying mod comments.

Anticipated future award increments should be listed when known by the person processing.

Sponsor requests should be added to this field in order to to document that they have been submitted to the sponsor. Supporting documentation should be saved to the shared drive. Below are examples of the most common types of sponsor requests:

o Addition of Subcontract

o Change of Key Personnel

Equipment Purchase


NCE Request

Other Sponsor Request

Participant Support Revision

Revised Budget

PROGRAM TYPE:

Program type is used to indicate the EPC (Expense Purpose Code). More details on EPC are online at http://www.cu.edu/controller/expense-purpose-codes. To navigate, click on the leftside menu in PT, and Click the Sponsor folder> Program Type is a dropdown box:

Choose the Program Type that most closely fits the project:

o Research - Activities specifically organized to produce research, whether commissioned by an agency external to the institution or separately budgeted by an organizational unit within the institution. Research is a systematic study directed toward fuller scientific knowledge or understanding of the subject studied and is directed toward the production of useful materials, devices, systems or methods. It also includes training individuals in research techniques. Almost all sponsored projects are research.

o Instruction - All activities that are part of an institution's instruction program. Instruction is generally associated with preparation for a class, or creation of a new class. It has its own Instruction F&A rate. Expenditures for credit and noncredit courses; academic vocational, and technical instruction; remedial and tutorial instruction; and regular, special, and extension sessions should be included.

o Public Service - Activities established primarily to provide non-instructional services beneficial to individuals and groups external to the institution.

If the Program Type is “Instruction”, or “Public Service”, then the EPC exception form needs to be completed and added under attachments (See Attachments for more information).

http://www.cu.edu/controller/expense-purpose-codes


ATTACHMENTS

Attachments are where all documents are stored in InfoEd. Similar to Approvals, there is a folder associated with each

proposal, and there is a comprehensive attachment folder for the award:

The top folder is connected to the proposal, and the bottom folder is connected to the award.

In addition, there are nested folders, under each attachment folder:

o Proposal

o Award

o Sub Documents

o Reports

o Closeout

No Folders should be added except for sub documents. A folder should be added for each subcontract. To add a folder, click on the Folder Maintenance button, and click the add folder button in the pop up window to open the Folder Maintenance window:

The Folder Name should be the same as the subcontract name. The Folder Parent should be the Sub Document Folder:

Proposal documents should be attached to the Proposal folder, under the attachments folder of the proposal in which they were submitted.

All other documents should be attached to the comprehensive folder for the award.

Click the Add Document button to add an attachment.

Choose the Name, Category, and Folder based on the following attachment list:


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